| 07-01486 | 02/02/2009 | Claimant(s): Sloan Securities Corp.
Claimant Lawyers(s): Paul A. Liberman
Respondent(s): Harry Friedman, Prestige Financial Center.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Robina Fedora Asti, Steven David Leader, Salvatore J. Bate
Hearing Site: New York, NY
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| 08-01732 | 01/30/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Edward L. Rose
Respondent(s): Sidney Oliphant
Respondent Lawyers(s): Sidney J. Oliphant
Arbitrator(s): Barbara J. Glenns
Hearing Site: New York, NY
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| 05-02062 | 01/29/2009 | Claimant(s): Frank Wallace
Claimant Lawyers(s): Joseph P. Baratta
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James E. Howard, Bernard J. McGuire, George T. Hirai
Hearing Site: New York, NY
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| 08-00569 | 01/29/2009 | Claimant(s): Glendale Securities.
Claimant Lawyers(s): Scott G. Monson
Respondent(s): Bruce Blatman, Wendy Epps
Respondent Lawyers(s): Bruce W. Barnes, Richard Goble
Arbitrator(s): Jettie K. Thomas
Hearing Site: New York, NY
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| 08-02661 | 01/29/2009 | Claimant(s): Avalon Partners.
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Charles Banks
Respondent Lawyers(s): Charles Bradford Banks
Arbitrator(s): David J. Pine
Hearing Site: New York, NY
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| 07-03321 | 01/28/2009 | Claimant(s): William Barber
Claimant Lawyers(s): Fred Van Remortel
Respondent(s): Scott & Stringfellow, BB&T Capital Markets
Respondent Lawyers(s): Sarah L. Allgeier
Arbitrator(s): Charles L. Henderson, Clarence Smith, Edna Rubin Sussman
Hearing Site: New York, NY
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| 08-00656 | 01/28/2009 | Claimant(s): Peter Kearns
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Neonet Securities.
Respondent Lawyers(s): Jeffrey S. Boxer
Arbitrator(s): Joseph J. Arata, Edward Buscemi, Paul B. Glantz
Hearing Site: New York, NY
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| 06-02419 | 01/27/2009 | Claimant(s): Lucile D. Wulff Trust Account
Claimant Lawyers(s): Francine Falcier Antell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Nancy Gray, Ted Candella
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): William H. Morley, Joseph H. Cerame, Joseph La Rosa
Hearing Site: New York, NY
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| 08-01799 | 01/27/2009 | Claimant(s): Alice Perdue
Claimant Lawyers(s): Alice Perdue
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Lori Ann Romeo
Hearing Site: New York, NY
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| 08-04122 | 01/23/2009 | Claimant(s): Neuberger Berman Management LLC
Claimant Lawyers(s): Jonathan C. Thau
Respondent(s): Jeffrey Tucker, RBC Capital Markets LLC, Seamus Monschein, Shari Mason, Steven Mascitelli
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Milton M. Stein, Robert Bartels, John D. Nagy
Hearing Site: New York, NY
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